How to Get Your Money When Your Broker Done You Wrong

This site contains information about how you can recover when your stockbroker, investment advisor, or financial planner has been guilty of fraud, misrepresentation, unsuitable recommendations, unauthorized trades, excessive trading (churning), failure to follow instructions, or other misconduct.

In an apparent effort to disguise the fact that the fox is in charge of the chicken coop, the National Association of Securities Dealers (NASD) has renamed itself the Financial Industry Regulatory Authority (FINRA).  You may still see references to the old name here and elsewhere for quite a while.

• Stockbroker Misconduct or the Luck of the Market?
• The Six Most Common Claims against Stockbrokers
• Stockbroker Fraud and Misrepresentation
• Unsuitable Recommendations by Stockbroker
• Unsuitable Transactions by Stockbroker
• Unauthorized Trades by Stockbroker
• Excessive Trading by Stockbroker (Churning)
• Stockbroker Failure to Follow Instructions
• Other Stockbroker Misconduct
• Employee Stock Options
• Commodities Futures and Option Contracts
• Time Limits for Making Claims against Stockbrokers
• How Much Can You Recover from a Stockbroker?
• Will You Be Able to Collect from the Stockbroker if You Win?
• How Much Will it Cost to Pursue Your Claim against your Stockbroker?

• Do You Have a Choice?
• The Advantages and Disadvantages of FINRA (formerly NASD) Stockbroker Arbitration and Court
• How FINRA (formerly NASD) Stockbroker Arbitration Works

• Do it yourself or get a stockbroker fraud lawyer?
• How to make your own claim for stockbroker fraud or misconduct
• How to find a stockbroker fraud lawyer
• Will an SEC Stockbroker Fraud Complaint help you?
• Will a FINRA (formerly NASD) Stockbroker Fraud Complaint help you?
  

• Our resume
• How we can help

• The Securities and Exchange Commission -- The federal regulatory agency for the securities business, including stockbrokers. They generally will not help you recover your losses for stockbroker fraud or misconduct.
  
•  FINRA (formerly NASD) Arbitration and Mediation -- Information about FINRA arbitration and mediation for stockbroker fraud and misconduct.
  
• FINRA (formerly NASD) Stockbroker Database -- Find out if a broker or firm is registered and get a copy of its publicly available information about customer complaints and regulatory actions, sometimes including stockbroker fraud and misconduct.
• FINRA Arbitration Awards Database -- Find awards in cases where the investor complained of stockbroker fraud or misconduct.
  
• FINRA (formerly NASD) Code of Arbitration Procedure -- Procedural rules for FINRA (formerly NASD) stockbroker arbitrations, including those for stockbroker fraud or misconduct, from NASD manual.
• FINRA (formerly NASD) Arbitration Information -- Information from the FINRA (formerly NASD) about the process of stockbroker arbitration.
• FINRA (formerly NASD) Hearing Locations -- If you file an FINRA (formerly NASD) arbitration for stockbroker fraud or misconduct, your case will normally be heard in the one that is closest to where you lived at the time of the events in question.
  
• FINRA (formerly NASD) Manual -- The rules that apply to stockbroker members, including investor protection rules against stockbroker fraud and misconduct.
• The Commodities Futures Trading Commission -- Regulates commodities futures.
• National Futures Association -- Association of commodities futures brokers.
• Chicago Board Options Exchange -- Exchange and self regulatory organization for options contracts.
• Directory of state securities regulators -- Contact information for all 50 states. They will take your complaint for stockbroker fraud or misconduct, but they will generally not help you to recover your money.
  
• Investor Arbitration Information -- Another website that I sponsor with information about investor arbitrations for stockbroker fraud or misconduct.
  
• Law Office of Vincent DiCarlo -- Our law office website.

DISCLAIMER: Vincent DiCarlo, who authored and maintained this site, has entered government service and, as of September 1, 2008, is no longer engaged in the private practice of law.  Therefore, this site is no longer being maintained,  may not be accurate, and should not be relied upon.  It is not now and was not ever intended as legal advice.  It is being provided for historical purposes, and for the benefit of those lawyers who are capable of independently verifying the information and judging the opinions in it, and then reaching their own conclusions.  You are strongly advised to consult qualified legal counsel before adopting any of the ideas or suggestions in this material, which may or may not be applicable in your jurisdiction or to your specific situation, and may no longer be accurate or prudent in any case.  The opinions and statements at this site were solely those of the author.  They were not and are not those of, nor were they nor are they made on behalf of, any agency of government or anyone else.

Copyright © 1998-2008 Vincent DiCarlo